About Michael J. Diver
Michael Diver has built a national practice advising public companies, financial services firms and individuals in securities litigation and regulatory investigations. In these high-stakes matters, Michael's past experience as a branch chief in the Enforcement Division of the Securities and Exchange Commission (SEC) gives him valuable perspective, and he has a long track record of achieving very favorable results for his clients.
As an Enforcement Division branch chief, Michael managed a team of SEC enforcement attorneys in investigating and prosecuting securities law violations, including matters involving complex financial fraud, market manipulation, insider trading and violations of broker-dealer, investment adviser and investment company regulations.
"A client says: 'He's very effective in helping us to understand how the process works and the kind of tactical plan for how to handle it. He helps steer us on every major decision we have to make.'"
Chambers USA 2019
(Illinois, Litigation: General Commercial) survey response
Practice Focus
- Securities litigation and enforcement
- Financial services litigation
- White-collar and internal investigations
- Insider trading
- Broker-dealer regulation
- Asset management
- Foreign Corrupt Practices Act
News
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June 16, 2020
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April 23, 2020
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January 29, 2020
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June 11, 2019
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April 25, 2019
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January 24, 2019
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May 3, 2018
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January 25, 2018
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May 31, 2017
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Publications
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PLI SEC Compliance and Enforcement2015–2019
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June 13, 2016
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April 23, 2015
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October 14, 2014
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February 29, 2012
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June 2, 2011
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July 6, 2010
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August 8, 2009
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March 2006
Presentations and Events
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Panelist | Hot Topics in Securities Regulatory Enforcement.October 15, 2020
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Insider Trading Compliance: Trends and Legal Developments Impacting Policies and ProceduresPresenter | A Strategic-Asset General Counsel Series WebinarJanuary 23, 2020
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October 10, 2019
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Moderator | Navigating Ethics and Professionalism Requirements in Securities Law PracticeSeptember 18–19, 2019
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The Society for Corporate GovernancePresenter | Trends and Legal Developments Impacting Insider Trading Compliance Policies and Procedures and Rule 10b5-1September 10, 2019
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Financial Services Litigation SymposiumPanelistOctober 2, 2018
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Understanding the Securities Laws 2018Presenter | Navigating Ethics and Professionalism RequirementsSeptember 27, 2018
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Understanding the Securities Laws 2017Presenter | Navigating Ethics and Professionalism RequirementsSeptember 28, 2017
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PLI Internal Investigations 2017SpeakerJune 7, 2017
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